Comments on Proposed Rule: Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara M. Stein regarding an October 26, 2017, meeting with representatives of the Investment Company Institute (ICI)
Public Comment Dorothy Donohue, Acting General Counsel, Investment Company Institute
Public Comment Michael R. Granito, Senior Vice President, Chief Risk Officer, Federated Investors, Inc.
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an August 15, 2016, presentation by a representative of the U.S. Federal Reserve Board
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding an August 15, 2016, meeting with representatives of Americans for Financial Reform
Public Comment James Edmond Smith
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an August 3, 2016, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding an August 3, 2016, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding an August 3, 2016, meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 19, 2016, meeting with representatives of the Independent Directors Council
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 27, 2016, meeting with representatives of the Subcommittee on Investment Companies and Investment Advisers of the Committee on Federal Regulation of Securities of the American Bar Association's Business Law Section
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a July 18, 2016, meeting with representatives of Eaton Vance
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a July 18, 2016, meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 14, 2016, meeting with representatives of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a July 14, 2016, meeting with representatives of Eaton Vance
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 13, 2016, meeting with representatives of the Alternative Investment Management Association and the Managed Funds Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 8, 2016, meeting with representatives of Interactive Data Corporation
Public Comment Senator Sherrod Brown, U.S. Senate
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 28, 2016, meeting with representatives and members of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 22, 2016, meeting with representatives of Eaton Vance
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 22, 2016, meeting with representatives of Eaton Vance
Public Comment Paul K. Freeman, Chair, Governing Council, Independent Directors Council
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 28, 2016 call with representatives of Invesco and Powershares
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 9, 2016, meeting with representatives of SIFMA
Public Comment Thomas E. Faust, Jr., Chairman and Chief Executive Officer, Eaton Vance Corp.
Public Comment Cynthia M. Clarke, General Counsel, Wellington Management Company LLP, Boston, Massachusetts
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 8, 2016, meeting with representatives of Fidelity Investments
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 7, 2016, meeting with representatives of Capital World Investors, et al.
Meeting with SEC Officials Memorandum from the Office of Commissioner Michael S. Piwowar regarding a May 31, 2016, phone call with a representative of BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 18, 2016, meeting with representatives of the SPARK Institute, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-16-15
Release Number
33-9922
IC-31835
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